EFTA01364030.pdf

rdc Organization: Southern Financial LLC DB12000P - Deutsche Bank Private Bank Batch Date: 6/15/2017 Added to Monitoring: 06/15/2017 Alert Date: Alert 6/15/2017 Address: Country VIRGIN ISLANDS, U.S. Tracking ID: KYC Reporting ID: Alerted Entity ft 4 of 4 Risk Priority: Critical Alert ID: Entity Information Entity ID Entity Name: Southern Financial Group Inc. Address: Summerville Recent Event(s): • SEC - SEC Violations (Insider Trading, Securities Fraud) / ACC - Accuse, 12/15/2008 accused of running a so-called Ponzi scheme by soliciting cash from new investors to pay off redemptions to earlier investors, 12/15/2008, The Post and Courier (MCT) Event: • SEC - SEC Violations (Insider Trading, Securities Fraud) / ACC - Accuse, 12/15/2008 accused of running a so-called Ponzi scheme by soliciting cash from new investors to pay off redemptions to earlier investors, 12/15/2008, The Post and Courier (MCT) Alert Notes Notes: Southern Financial Group Inc.. was accused of running a so-called Ponzi scheme by soliciting cash from new investors to pay off redemptions to earlier investors. Source Information RDC URL: https://grid.rdc.comrwss/entity.html?entityldrcd06df1e138aac735d3f3d53eb346cc4 Source Name: RiskConnect, 06/14/2017 Sources: The Post and Courier (MCT), MEDIA Article,Headline:The Post and Courier, Charleston, S C.. On Business column, http://global.fadiva.comfen/durartide.asp?NAPC=S&AccessionNorKRTCN00020081216e4c100001 Consistent nth the terms and can:Monsof your RDC Subsaibef Agreement, the inkerrahan oartarned m thrs dccument s for alert purposes only and rs not to be used /CC purposes of deeerrnntng an relroduals abgbely la any aedit or any otha FCRA pernssable purposes User further agrees to hold such maternal and informaten in strictest confidence, not to make use thereof other than to' authaved purposes, to relate a only to ereplores rechormg such oralarralon, and not to release or disclose a to any other party The Alert Somata, contained in the document nay ce may not penal, to the indrodual or entity referenced et your Eteuiry. Page 9 ol 9 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0054530 CONFIDENTIAL SDNY_GM_00200714 EFTA01364030